Compliance Analyst - IT Investment

VARITE is looking for a Compliance Analyst with one of its clients located in Gurgaon.

About the client:.

Our client is an American is an American multinational investment company.

WHAT DO WE DO?

VARITE is a global IT company providing software and engineering consulting and team augmentation services to Fortune 1000 companies in USA, CANADA, and INDIA. VARITE is currently a primary and direct vendor to the leading corporations in the areas of Cloud, Data Sciences, Infrastructure Application Software, Mobility, Robotics, Banking & Financial Systems.

Job Responsibilities:

- Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes:

- Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items.

- This includes account onboarding/set-up formalities with employees and/or brokers (completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes.

- Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards.

- This involves thorough analysis and documentation to ensure compliance with regulatory requirements.

- Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review.

- Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies.

- Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests.

- This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly.

- Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors.

- This requires attention to detail and effective problem-solving skills to ensure data integrity.

- Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email.

- This involves prioritizing and categorizing queries to ensure efficient handling and resolution.

- Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items.

- This ensures that all actions are documented and tracked effectively.

- Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting.

- This includes maintaining communication with employees to verify transaction details and ensure compliance.

- This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes.

Skills:

- Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous.

Location: Gurgaon.